Escolar Documentos
Profissional Documentos
Cultura Documentos
800
96 S.Ct. 1236
47 L.Ed.2d 483
[Amicus Curiae Information from page 802 intentionally omitted] rights, where
it appears that the United States is the owner of or is in the process of acquiring
water rights by appropriation under State law, by purchase, by exchange, or
otherwise, and the United States is a necessary party to such suit." The
questions presented by this case concern the effect of the McCarran
Amendment upon the jurisdiction of the federal district courts under 28 U.S.C.
1345 over suits for determination of water rights brought by the United States
as trustee for certain Indian tribes and as owner of various non-Indian
Government claims.1
Under the Colorado Act, the State is divided into seven Water Divisions, each
Division encompassing one or more entire drainage basins for the larger rivers
in Colorado.4 Adjudication of water claims within each Division occurs on a
continuous basis.5 Each month, Water Referees in each Division rule on
applications for water rights filed within the preceding five months or refer
those applications to the Water Judge of their Division.6 Every six months, the
Water Judge passes on referred applications and contested decisions by
Referees.7 A State Engineer and engineers for each Division are responsible for
the administration and distribution of the waters of the State according to the
determinations in each Division.8
5
The reserved rights of the United States extend to Indian reservations, Winters
v. United States, 207 U.S. 564, 28 S.Ct. 207, 52 L.Ed. 340 (1908), and other
federal lands, such as national parks and forests, Arizona v. California, 373
U.S. 546, 83 S.Ct. 1468, 10 L.Ed.2d 542 (1963). The reserved rights claimed
by the United States in this case affect waters within Colorado Water Division
No. 7. On November 14, 1972, the Government instituted this suit in the
United States District Court for the District of Colorado, invoking the court's
jurisdiction under 28 U.S.C. 1345. The District Court is located in Denver,
some 300 miles from Division 7. The suit, against some 1,000 water users,
sought declaration of the Government's rights to waters in certain rivers and
their tributaries located in Division 7. In the suit, the Government asserted
reserved rights on its own behalf and on behalf of certain Indian tribes, as well
as rights based on state law. It sought appointment of a water master to
administer any waters decreed to the United States. Prior to institution of this
suit, the Government had pursued adjudication of non-Indian reserved rights
and other water claims based on state law in Water Divisions 4, 5, and 6, and
the Government continues to participate fully in those Divisions.
Shortly after the federal suit was commenced, one of the defendants in that suit
filed an application in the state court for Division 7, seeking an order directing
service of process on the United States in order to make it a party to
proceedings in Division 7 for the purpose of adjudicating all of the
Government's claims, both state and federal. On January 3, 1973, the United
States was served pursuant to authority of the McCarran Amendment. Several
defendants and intervenors in the federal proceeding then filed a motion in the
District Court to dismiss on the ground that under the Amendment, the court
was without jurisdiction to determine federal water rights. Without deciding the
jurisdictional question, the District Court, on June 21, 1973, granted the motion
in an unreported oral opinion stating that the doctrine of abstention required
deference to the proceedings in Division 7. On appeal, the Court of Appeals for
the Tenth Circuit reversed, United States v. Akin, 504 F.2d 115 (1974), holding
that the suit of the United States was within district-court jurisdiction under 28
U.S.C. 1345, and that abstention was inappropriate. We granted certiorari to
consider the important questions of whether the McCarran Amendment
terminated jurisdiction of federal courts to adjudicate federal water rights and
whether, if that jurisdiction was not terminated, the District Court's dismissal in
this case was nevertheless appropriate. 421 U.S. 946, 95 S.Ct. 1674, 44 L.Ed.2d
99 (1975). We reverse.
II
8
The McCarran Amendment does not by its terms, at least, indicate any repeal of
jurisdiction under 1345. Indeed, subsection (d) of the Amendment, which is
uncodified, provides:
10
"(d) None of the funds appropriated by this title may be used in the preparation
or prosecution of the suit in the United States District Court for the Southern
District of California, Southern Division, by the United States of America
against Fallbrook Public Utility District, a public service corporation of the
State of California, and others." Act of July 10, 1952, Pub.L. 495, 208(d), 66
Stat. 560.
11
In prohibiting the use of funds for the maintenance by the United States of a
specific suit then pending in a District Court, subsection (d) plainly implies that
the Amendment did not repeal the jurisdiction of district courts under 1345 to
adjudicate suits brought by the United States for adjudication of claimed
federal water rights.11
12
Beyond its terms, the legislative history of the Amendment evidences no clear
purpose to terminate any portion of 1345 jurisdiction. Indeed, three bills,
proposed at approximately the same time as the Amendment, which expressly
would have had the effect of precluding suits by the United States in district
court for the determination of water rights, failed of passage. 12 Further, the
Senate report on the Amendment states: "The purpose of the proposed
legislation, as amended, is to permit the joinder of the United States as a party
defendant in any suit for the adjudication of rights to the use of water . . . ."13
Nothing in this statement of purpose indicates an intent correlatively to
diminish federal-district-court jurisdiction. Similarly, Senator McCarran, who
introduced the legislation in the Senate, stated in a letter made a part of the
Senate report that the legislation was "not intended to be used for any other
purpose than to allow the United States to be joined in a suit wherein it is
necessary to adjudicate all of the rights of various owners on a given stream."14
13
III
14
We turn next to the question whether this suit nevertheless was properly
dismissed in view of the concurrent state proceedings in Division 7.
A.
15
a question not previously squarely addressed by this Court, and given the
claims for Indian water rights in this case, dismissal clearly would have been
inappropriate if the state court had no jurisdiction to decide those claims. We
conclude that the state court had jurisdiction over Indian water rights under the
Amendment.
16
United States v. District Court for Eagle County, 401 U.S. 520, 91 S.Ct. 998, 28
L.Ed.2d 278 (1971), and United States v. District Court for Water Div. 5, 401
U.S. 527, 91 S.Ct. 1003, 28 L.Ed.2d 284 (1971), held that the provisions of the
McCarran Amendment, whereby "consent is . . . given to join the United States
as a defendant in any suit (1) for the adjudication . . . or (2) for the
administration of (water) rights, where it appears that the United States is the
owner . . . by appropriation under State law, by purchase, by exchange, or
otherwise. . . . ," subject federal reserved rights to general adjudication in state
proceedings for the determination of water rights. More specifically, the Court
held that reserved rights were included in those rights where the United States
was "otherwise" the owner. United States v. District Court for Eagle County,
supra, 401 U.S. at 524, 91 S.Ct. at 1002, 28 L.Ed.2d at 281. Though Eagle
County and Water Div. 5 did not involve reserved rights on Indian reservations,
viewing the Government's trusteeship of Indian rights as ownership, the logic
of those cases clearly extends to such rights. Indeed, Eagle County spoke of
non-Indian rights and Indian rights without any suggestion that there was a
distinction between them for purposes of the Amendment. 401 U.S., at 523, 91
S.Ct., at 1001, 28 L.Ed.2d, at 281.
17
Not only the Amendment's language, but also its underlying policy, dictates a
construction including Indian rights in its provisions. Eagle County rejected the
conclusion that federal reserved rights in general were not reached by the
Amendment for the reason that the Amendment "(deals) with an all-inclusive
statute concerning 'the adjudication of rights to the use of water of a river
system.' " Id., at 524, 91 S.Ct., at 1002, 28 L.Ed.2d, at 282. This consideration
applies as well to federal water rights reserved for Indian reservations. And
cogently, the Senate report on the Amendment observed:
18
"In the administration of and the adjudication of water rights under State laws
the State courts are vested with the jurisdiction necessary for the proper and
efficient disposition thereof, and by reason of the interlocking of adjudicated
rights on any stream system, any order or action affecting one right affects all
such rights. Accordingly all water users on a stream, in practically every case,
are interested and necessary parties to any court proceedings. It is apparent that
if any water user claiming to hold such right by reason of the ownership thereof
by the United States or any of its departments is permitted to claim immunity
from suit in, or orders of, a State court, such claims could materially interfere
with the lawful and equitable use of water for beneficial use by the other water
users who are amenable to and bound by the decrees and orders of the State
courts."16
19
Thus, bearing in mind the ubiquitous nature of Indian water rights in the
Southwest, it is clear that a construction of the Amendment excluding those
rights from its coverage would enervate the Amendment's objective.17
20
21
Next, we consider whether the District Court's dismissal was appropriate under
the doctrine of abstention. We hold that the dismissal cannot be supported
under that doctrine in any of its forms.
23
Abstention from the exercise of federal jurisdiction is the exception, not the
rule. "The doctrine of abstention, under which a District Court may decline to
exercise or postpone the exercise of its jurisdiction, is an extraordinary and
narrow exception to the duty of a District Court to adjudicate a controversy
properly before it. Abdication of the obligation to decide cases can be justified
under this doctrine only in the exceptional circumstances where the order to the
parties to repair to the state court would clearly serve an important
countervailing interest." County of Allegheny v. Frank Mashuda Co., 360 U.S.
185, 188-189, 79 S.Ct. 1060, 1063, 3 L.Ed.2d 1163, 1166 (1959). "(I)t was
never a doctrine of equity that a federal court should exercise its judicial
discretion to dismiss a suit merely because a State court could entertain it."
Alabama Pub. Serv. Comm'n. v. Southern R. Co., 341 U.S. 341, 361, 71 S.Ct.
762, 774, 95 L.Ed. 1002, 1015 (1951) (Frankfurter, J., concurring in result).
Our decisions have confined the circumstances appropriate for abstention to
three general categories.
24
25
(b) Abstention is also appropriate where there have been presented difficult
questions of state law bearing on policy problems of substantial public import
whose importance transcends the result in the case then at bar. Louisiana Power
& Light Co. v. City of Thibodaux, 360 U.S. 25, 79 S.Ct. 1070, 3 L.Ed.2d 1058
(1959), for example, involved such a question. In particular, the concern there
was with the scope of the eminent domain power of municipalities under state
law. See also Kaiser Steel Corp. v. W. S. Ranch Co., 391 U.S. 593, 88 S.Ct.
1753, 20 L.Ed.2d 835 (1968); Hawks v. Hamill, 288 U.S. 52, 53 S.Ct. 240, 77
L.Ed. 610 (1933). In some cases, however, the state question itself need not be
determinative of state policy. It is enough that exercise of federal review of the
question in a case and in similar cases would be disruptive of state efforts to
establish a coherent policy with respect to a matter of substantial public
concern. In Burford v. Sun Oil Co., 319 U.S. 315, 63 S.Ct. 1098, 87 L.Ed. 1424
(1943), for example, the Court held that a suit seeking review of the
reasonableness under Texas state law of a state commission's permit to drill oil
wells should have been dismissed by the District Court. The reasonableness of
the permit in that case was not of transcendent importance, but review of
reasonableness by the federal courts in that and future cases, where the State
had established its own elaborate review system for dealing with the geological
complexities of oil and gas fields, would have had an impermissibly disruptive
effect on state policy for the management of those fields. See also Alabama
Pub. Serv. Comm'n v. Southern R. Co. supra.21
26
The present case clearly does not fall within this second category of abstention.
While state claims are involved in the case, the state law to be applied appears
to be settled. No questions bearing on state policy are presented for decision.
Nor will decision of the state claims impair efforts to implement state policy as
in Burford. To be sure, the federal claims that are involved in the case go to the
establishment of water rights which may conflict with similar rights based on
state law. But the mere potential for conflict in the results of adjudications, does
not, without more, warrant staying exercise of federal jurisdiction. See
Meredith v. Winter Haven, 320 U.S. 228, 64 S.Ct. 7, 88 L.Ed. 9 (1943); Kline
v. Burke Constr. Co., 260 U.S. 226, 43 S.Ct. 79, 67 L.Ed. 226 (1922);
McClellan v. Carland, 217 U.S. 268, 30 S.Ct. 501, 54 L.Ed. 762 (1910). The
potential conflict here, involving state claims and federal claims, would not be
such as to impair impermissibly the State's effort to effect its policy respecting
the allocation of state waters. Nor would exercise of federal jurisdiction here
interrupt any such efforts by restraining the exercise of authority vested in state
officers. See Pennsylvania v. Williams, 294 U.S. 176, 55 S.Ct. 380, 79 L.Ed.
841 (1935); Hawks v. Hamill, supra.
27
S.Ct. 1200, 43 L.Ed.2d 482 (1975); or collection of state taxes, Great Lakes
Dredge & Dock Co. v. Huffman, 319 U.S. 293, 63 S.Ct. 1070, 87 L.Ed. 1407
(1943). Like the previous two categories, this category also does not include
this case. We deal here neither with a criminal proceeding, nor such a nuisance
proceeding, nor a tax collection. We also do not deal with an attempt to restrain
such actions23 or to seek a declaratory judgment as to the validity of a state
criminal law under which criminal proceedings are pending in a state court.
C
28
Although this case falls within none of the abstention categories, there are
principles unrelated to considerations of proper constitutional adjudication and
regard for federal-state relations which govern in situations involving the
contemporaneous exercise of concurrent jurisdictions, either by federal courts
or by state and federal courts. These principles rest on considerations of "(w)ise
judicial administration, giving regard to conservation of judicial resources and
comprehensive disposition of litigation." Kerotest Mfg. Co. v. C-O-Two Fire
Equipment Co., 342 U.S. 180, 183, 72 S.Ct. 219, 221, 96 L.Ed. 200, 203
(1952). See Columbia Plaza Corp. v. Security National Bank, 173
U.S.App.D.C. 403, 525 F.2d 620 (1975). Generally, as between state and
federal courts, the rule is that "the pendency of an action in the state court is no
bar to proceedings concerning the same matter in the Federal court having
jurisdiction . . . ." McClellan v. Carland, supra, 217 U.S. at 282, 30 S.Ct. at
505, 54 L.Ed., at 767. See Donovan v. City of Dallas, 377 U.S. 408, 84 S.Ct.
1579, 12 L.Ed.2d 409 (1964). As between federal district courts, however,
though no precise rule has evolved, the general principle is to avoid duplicative
litigation. See Kerotest Mfg. Co. v. C-O-Two Fire Equipment Co., supra;
Steelman v. All Continent Corp., 301 U.S. 278, 57 S.Ct. 705, 81 L.Ed. 1085
(1937); Landis v. North American Co., 299 U.S. 248, 254, 57 S.Ct. 163, 165,
81 L.Ed. 153, 158 (1936). This difference in general approach between statefederal concurrent jurisdiction and wholly federal concurrent jurisdiction stems
from the virtually unflagging obligation of the federal courts to exercise the
jurisdiction given them. England v. Louisiana State Bd. of Medical Examiners,
375 U.S. 411, 415, 84 S.Ct. 1, 464, 11 L.Ed.2d 440, 444 (1964); McClellan v.
Carland, supra, 217 U.S., at 281, 30 S.Ct. at 504, 54 L.Ed. at 766; Cohens v.
Virginia, 6 Wheat. 264, 404, 5 L.Ed. 257 (1821) (dictum). Given this
obligation, and the absence of weightier considerations of constitutional
adjudication and state-federal relations, the circumstances permitting the
dismissal of a federal suit due to the presence of a concurrent state proceeding
for reasons of wise judicial administration are considerably more limited than
the circumstances appropriate for abstention. The former circumstances,
though exceptional, do nevertheless exist.
29
It has been held, for example, that the court first assuming jurisdiction over
property may exercise that jurisdiction to the exclusion of other courts.
Donovan v. City of Dallas, supra, 377 U.S. at 412, 84 S.Ct. at 413, 12 L.Ed.2d
at 1582; Princess Lida v. Thompson, 305 U.S. 456, 466, 59 S.Ct. 275, 280, 83
L.Ed. 285, 291 (1939); United States v. Bank of New York & Trust Co., 296
U.S. 463, 477, 56 S.Ct. 343, 347, 80 L.Ed. 331, 338 (1936). But cf. Markham v.
Allen, 326 U.S. 490, 66 S.Ct. 296, 90 L.Ed. 256 (1946); United States v. Klein,
303 U.S. 276, 58 S.Ct. 536, 82 L.Ed. 840 (1938). This has been true even where
the Government was a claimant in existing state proceedings and then sought to
invoke district-court jurisdiction under the jurisdictional provision antecedent to
28 U.S.C. 1345. United States v. Bank of New York & Trust Co., supra, 296
U.S. at 479, 56 S.Ct. at 348, 80 L.Ed. at 339. But cf. Leiter Minerals, Inc. v.
United States, 352 U.S. 220, 227-228, 77 S.Ct. 287, 291-292, 1 L.Ed.2d 267,
274 (1957). In assessing the appropriateness of dismissal in the event of an
exercise of concurrent jurisdiction, a federal court may also consider such
factors as the inconvenience of the federal forum, cf. Gulf Oil Corp. v. Gilbert,
330 U.S. 501, 67 S.Ct. 839, 91 L.Ed. 1055 (1947); the desirability of avoiding
piecemeal litigation, cf. Brillhart v. Excess Ins. Co., 316 U.S. 491, 495, 62 S.Ct.
1173, 1175, 86 L.Ed. 1620, 1625 (1942); and the order in which jurisdiction
was obtained by the concurrent forums, Pacific Live Stock Co. v. Oregon Water
Bd., 241 U.S. 440, 447, 36 S.Ct. 637, 640, 60 L.Ed. 1084, 1096 (1916). No one
factor is necessarily determinative; a carefully considered judgment taking into
account both the obligation to exercise jurisdiction and the combination of
factors counselling against that exercise is required. See Landis v. North
American Co., supra, 299 U.S. at 254-255, 57 S.Ct. at 165-166, 81 L.Ed. at
158. Only the clearest of justifications will warrant dismissal.
30
As has already been observed, the Colorado Water Rights Determination and
Administration Act established such a system for the adjudication and
management of rights to the use of the State's waters. As the Government
concedes24 and as this Court recognized in Eagle County and Water Div. 5, the
Act established a single continuous proceeding for water rights adjudication
which antedated the suit in District Court. United States v. District Court for
Eagle County, 401 U.S., at 525, 91 S.Ct., at 1002, 28 L.Ed.2d at 282; United
States v. District Court for Water Div. 5, 1 U.S., at 529, 91 S.Ct., at 1004, 28
L.Ed.2d at 285. That proceeding "reaches all claims, perhaps month by month
but inclusively in the totality." Ibid. Additionally, the responsibility of
managing the State's waters, to the end that they be allocated in accordance
with adjudicated water rights, is given to the State Engineer.
32
33
The judgment of the Court of Appeals is reversed and the judgment of the
District Court dismissing the complaint is affirmed for the reasons here stated.
34
It is so ordered.
35
36
Mr. Justice STEWART, with whom Mr. Justice BLACKMUN and Mr. Justice
The Court says that the United States District Court for the District of Colorado
clearly had jurisdiction over this lawsuit. I agree.1 The Court further says that
the McCarran Amendment "in no way diminished" the District Court's
jurisdiction. I agree.2 The Court also says that federal courts have a "virtually
unflagging obligation . . . to exercise the jurisdiction given them." I agree.3 And
finally, the Court says that nothing in the abstention doctrine "in any of its
forms" justified the District Court's dismissal of the Government's complaint. I
agree.4 These views would seem to lead ineluctably to the conclusion that the
District Court was wrong in dismissing the complaint. Yet the Court holds that
the order of dismissal was "appropriate." With that conclusion I must
respectfully disagree.
38
In holding that the United States shall not be allowed to proceed with its
lawsuit, the Court relies principally on cases reflecting the rule that where
"control of the property which is the subject of the suit (is necessary) in order to
proceed with the cause and to grant the relief sought, the jurisdiction of one
court must of necessity yield to that of the other." Penn General Casualty Co. v.
Pennsylvania ex rel. Schnader, 294 U.S. 189, 195, 55 S.Ct. 386, 388, 79 L.Ed.
850, 855. See also Donovan v. City of Dallas, 377 U.S. 408, 84 S.Ct. 1579, 12
L.Ed.2d 409; Princess Lida v. Thompson, 305 U.S. 456, 59 S.Ct. 275, 83 L.Ed.
285; United States v. Bank of New York Co., 296 U.S. 463, 56 S.Ct. 343, 80
L.Ed. 331. But, as those cases make clear, this rule applies only when exclusive
control over the subject matter is necessary to effectuate a court's judgment. 1A
J. Moore, Federal Practice P 0.214 (1974). Here the federal court did not need
to obtain In rem or Quasi in rem jurisdiction in order to decide the issues before
it. The court was asked simply to determine as a matter of federal law whether
federal reservations of water rights had occurred, and, if so, the date and scope
of the reservations. The District Court could make such a determination without
having control of the river.
39
The rule invoked by the Court thus does not support the conclusion that it
reaches. In the Princess Lida case, for example, the reason for the surrender of
federal jurisdiction over the administration of a trust was the fact that a state
court had already assumed jurisdiction over the trust estate. But the Court in
that case recognized that this rationale "ha(d) no application to a case in a
federal court . . . wherein the plaintiff seeks merely an adjudication of his right
or his interest as a basis of a claim against a fund in the possession of a state
court . . . ." 305 U.S., at 466, 59 S.Ct., at 281, 83 L.Ed., at 291. The Court
stressed that "(n)o question is presented in the federal court as to the right of
any person to participate in the res or as to the quantum of his interest in it." Id.,
at 467, 59 S.Ct., at 281, 83 L.Ed., at 292. Similarly, in the Bank of New York
case, supra, the Court stressed that the "object of the suits is to take the
property from the depositaries and from the control of the state court, and to
vest the property in the United States . . . ." 296 U.S., at 478, 56 S.Ct., at 347,
80 L.Ed., at 339. "The suits are not merely to establish a debt or a right to share
in property, and thus to obtain an adjudication which might be had without
disturbing the control of the state court." Ibid5 See also Markham v. Allen, 326
U.S. 490, 66 S.Ct. 296, 90 L.Ed. 256; United States v. Klein, 303 U.S. 276, 58
S.Ct. 536, 82 L.Ed. 840. See generally 1A J. Moore, Federal Practice P 0.222
(1974); 14 C. Wright, A. Miller, & E. Cooper, Federal Practice & Procedure
3631, pp. 19-22 (1976).
40
The precedents cited by the Court thus not only fail to support the Court's
decision in this case, but expressly point in the opposite direction. The present
suit, in short, is not analogous to the administration of a trust, but rather to a
claim of a "right to participate," since the United States in this litigation does
not ask the court to control the administration of the river, but only to determine
its specific rights in the flow of water in the river. This is an almost exact
analogue to a suit seeking a determination of rights in the flow of income from
a trust.
41
The Court's principal reason for deciding to close the doors of the federal
courthouse to the United States in this case seems to stem from the view that its
decision will avoid piecemeal adjudication of water rights.6 To the extent that
this view is based on the special considerations governing In rem proceedings,
it is without precedential basis, as the decisions discussed above demonstrate.
To the extent that the Court's view is based on the realistic practicalities of this
case, it is simply wrong, because the relegation of the Government to the state
courts will not avoid piecemeal litigation.
42
The Colorado courts are currently engaged in two types of proceedings under
the State's water-rights law. First, they are processing new claims to water
based on recent appropriations. Second, they are integrating these new awards
of water rights with all past decisions awarding such rights into one allinclusive tabulation for each water source. The claims of the United States that
are involved in this case have not been adjudicated in the past. Yet they do not
involve recent appropriations of water. In fact, these claims are wholly
dissimilar to normal state water claims, because they are not based on actual
beneficial use of water but rather on an intention formed at the time the federal
land use was established to reserve a certain amount of water to support the
federal reservations. The state court will, therefore, have to conduct separate
proceedings to determine these claims. And only after the state court
adjudicates the claims will they be incorporated into the water source
tabulations. If this suit were allowed to proceed in federal court the same
procedures would be followed, and the federal court decree would be
incorporated into the state tabulation, as other federal court decrees have been
incorporated in the past. Thus, the same process will occur regardless of which
forum considers these claims. Whether the virtually identical separate
proceedings take place in a federal court or a state court, the adjudication of the
claims will be neither more nor less "piecemeal." Essentially the same process
will be followed in each instance.7
43
44
First, the issues involved are issues of federal law. A federal court is more
likely than a state court to be familiar with federal water law and to have had
experience in interpreting the relevant federal statutes, regulations, and Indian
treaties. Moreover, if tried in a federal court, these issues of federal law will be
reviewable in a federal appellate court, whereas federal judicial review of the
state courts' resolution of issues of federal law will be possible only on review
by this Court in the exercise of its certiorari jurisdiction.
45
Second, some of the federal claims in this lawsuit relate to water reserved for
Indian reservations. It is not necessary to determine that there is no state-court
jurisdiction of these claims to support the proposition that a federal court is a
more appropriate forum than a state court for determination of questions of lifeand-death importance to Indians. This Court has long recognized that " '(t)he
policy of leaving Indians free from state jurisdiction and control is deeply
rooted in the Nation's history.' " McClanahan v. Arizona State Tax Comm'n,
411 U.S. 164, 168, 93 S.Ct. 1257, 1260, 36 L.Ed.2d 129, 133, quoting Rice v.
Olson, 324 U.S. 786, 789, 65 S.Ct. 989, 991, 89 L.Ed. 1367, 1369.
46
The Court says that "(o)nly the clearest of justifications will warrant dismissal"
of a lawsuit within the jurisdiction of a federal court. In my opinion there was
no justification at all for the District Court's order of dismissal in this case.
47
48
49
While I join Mr. Justice STEWART's dissenting opinion, I add three brief
comments:
50
First, I find the holding that the United States may not litigate a federal claim in
a federal court having jurisdiction thereof particularly anomalous. I could not
join such a disposition unless commanded to do so by an unambiguous statutory
mandate or by some other clearly identifiable and applicable rule of law. The
McCarran Amendment to the Department of Justice Appropriation Act of 1953,
66 Stat. 560, 43 U.S.C. 666, announces no such rule.
51
Second, the Federal Government surely has no lesser right of access to the
federal forum than does a private litigant, such as an Indian asserting his own
claim. If this be so, today's holding will necessarily restrict the access to federal
court of private plaintiffs asserting water rights claims in Colorado. This is a
rather surprising byproduct of the McCarran Amendment; for there is no basis
for concluding that Congress intended that Amendment to impair the private
citizen's right to assert a federal claim in a federal court.
52
Third, even on the Court's assumption that this case should be decided by
balancing the factors weighing for and against the exercise of federal
jurisdiction, I believe we should defer to the judgment of the Court of Appeals
rather than evaluate those factors in the first instance ourselves. In this case the
District Court erroneously dismissed the complaint on abstention grounds and
the Court of Appeals found no reason why the litigation should not go forward
in a federal court. Facts such as the number of parties, the distance between the
courthouse and the water in dispute, and the character of the Colorado
proceedings are matters which the Court of Appeals sitting in Denver is just as
able to evaluate as are we.
53
Although I agree with Parts I, II, III-A, and III-B of the opinion of the Court, I
respectfully dissent from the decision to reverse the judgment of the Court of
Appeals for the Tenth Circuit.
The McCarran Amendment (also known as, the McCarran Water Rights Suit
Act), 43 U.S.C. 666, as codified, provides in full text:
"(a) Consent is hereby given to join the United States as a defendant in any suit
(1) for the adjudication of rights to the use of water of a river system or other
source, or (2) for the administration of such rights, where it appears that the
United States is the owner of or is in the process of acquiring water rights by
appropriation under State law, by purchase, by exchange, or otherwise, and the
United States is a necessary party to such suit. The United States, when a party
to any such suit, shall (1) be deemed to have waived any right to plead that the
State laws are inapplicable or that the United States is not amenable thereto by
reason of its sovereignty, and (2) shall be subject to the judgments, orders, and
decrees of the court having jurisdiction, and may obtain review thereof, in the
same manner and to the same extent as a private individual under like
circumstances: Provided, That no judgment for costs shall be entered against
the United States in any such suit.
"(b) Summons or other process in any such suit shall be served upon the
Attorney General or his designated representative.
"(c) Nothing in this Act shall be construed as authorizing the joinder of the
United States in any suit or controversy in the Supreme Court of the United
States involving the right of States to the use of the water of any interstate
stream."
See also Infra, at 807.
Title 28 U.S.C. 1345 provides:
"Except as otherwise provided by Act of Congress, the district courts shall have
original jurisdiction of all civil actions, suits or proceedings commenced by the
United States, or by any agency or officer thereof expressly authorized to sue by
Act of Congress."
2
37-92-201.
37-92-303.
37-92-304.
37-92-301.
10
See City of Colorado Springs v. Bender, 148 Colo. 458, 366 P.2d 552 (1961);
City of Colorado Springs v. Yust, 126 Colo. 289, 249 P.2d 151 (1952).
11
Jurisdiction in the specific District Court suit was based on 28 U.S.C. 1345.
See United States v. Fallbrook Public Util. Dist., 101 F.Supp. 298
(S.D.Cal.1951).
12
H.R. 7691, 82d Cong., 2d Sess. (1952); H.R. 5735, 82d Cong., 1st Sess. (1951);
H.R. 5368, 82d Cong., 1st Sess. (1951).
13
14
Id., at 9.
15
The District Court also would have had jurisdiction of this suit under the
general federal-question jurisdiction of 28 U.S.C. 1331. For the same reasons,
the McCarran Amendment did not affect jurisdiction under 1331 either.
16
17
18
19
20
21
We note that Burford v. Sun Oil Co., and Alabama Pub. Serv. Comm'n v.
Southern R. Co., differ from Louisiana Power & Light Co. v. City of
Thibodaux, and County of Allegheny v. Frank Mashuda Co., in that the former
two cases, unlike the latter two, raised colorable constitutional claims and were
therefore brought under federal-question, as well as diversity jurisdiction.
While abstention in Burford and Alabama Public Service had the effect of
avoiding a federal constitutional issue, the opinions indicate that this was not an
additional ground for abstention in those cases. See Alabama Pub. Serv.
Comm'n v. Southern R. Co., 341 U.S., at 344, 71 S.Ct., at 765, 95 L.Ed., at
1006; Burford v. Sun Oil Co., 319 U.S., at 334, 63 S.Ct., at 1107, 87 L.Ed., at
1435; H. Hart & H. Wechsler, The Federal Courts and the Federal System 1005
(2d ed. 1973) ("The two groups of cases share at least one common
characteristic: the Pullman purpose of avoiding the necessity for federal
constitutional adjudication is not relevant"). We have held, of course, that the
opportunity to avoid decision of a constitutional question does not alone justify
abstention by a federal court. See Harman v. Forssenius, 380 U.S. 528, 85 S.Ct.
1177, 14 L.Ed.2d 50 (1965); Baggett v. Bullitt, 377 U.S. 360, 84 S.Ct. 1316, 12
L.Ed.2d 377 (1964). Indeed, the presence of a federal basis for jurisdiction may
raise the level of justification needed for abstention. See Burford v. Sun Oil
Co., supra, 319 U.S., at 318 n. 5, 63 S.Ct., at 1099, 87 L.Ed., at 1426; Hawks v.
Hamill, 288 U.S., at 61, 53 S.Ct., at 243, 77 L.Ed., at 618.
22
23
24
25
26
"Except as otherwise provided by Act of Congress, the district courts shall have
See England v. Medical Examiners, 375 U.S. 411, 415-416, 84 S.Ct. 461, 464465, 11 L.Ed.2d 440, 444-445; Meredith v. Winter Haven, 320 U.S. 228, 64
S.Ct. 7, 88 L.Ed. 9.
Donovan v. City of Dallas, 377 U.S. 408, 84 S.Ct. 1579, 12 L.Ed.2d 409, has
relevance only insofar as the Court's opinion there contained a brief summary
of the discussion in the Princess Lida case.
The Court lists four other policy reasons for the "appropriateness" of the
District Court's dismissal of this lawsuit. All of those reasons are insubstantial.
First, the fact that no significant proceedings had yet taken place in the federal
court at the time of the dismissal means no more than that the federal court was
prompt in granting the defendants' motion to dismiss. At that time, of course, no
proceedings involving the Government's claims had taken place in the state
court either. Second, the geographic distance of the federal court from the rivers
in question is hardly a significant factor in this age of rapid and easy
transportation. Since the basic issues here involve the determination of the
amount of water the Government intended to reserve rather than the amount it
actually appropriated on a given date, there is little likelihood that live
testimony by water district residents would be necessary. In any event, the
Federal District Court in Colorado is authorized to sit at Durango, the
headquarters of Water Division 7. 28 U.S.C. 85. Third, the Government's
willingness to participate in some of the state proceedings certainly does not
mean that it had no right to bring this action, unless the Court has today
unearthed a new kind of waiver. Finally, the fact that there were many
defendants in the federal suit is hardly relevant. It only indicates that the federal
court had all the necessary parties before it in order to issue a decree finally
settling the Government's claims. Indeed, the presence of all interested parties
in the federal court made the lawsuit the kind of unified proceeding envisioned
by Pacific Live Stock Co. v. Lewis, 241 U.S. 440, 447-449, 36 S.Ct. 637, 640641, 60 L.Ed. 1084, 1096.
It is true, as the Court notes, that the relationship among water rights is
interdependent. When water levels in a river are low, junior appropriators may
not be able to take any water from the river. The Court is mistaken, however, in
suggesting that the determination of a priority is related to the determination of
other priorities. When a priority is established, the holder's right to take a
certain amount of water and the seniority (date) of his priority is established.
That determination does not affect and is not affected by the establishment of
other priorities.